Application of Rules 3030 and 3040 to receipt of "wrap fees" by registered representative/investment adviser who recommends clients invest in asset allocation program managed and traded by unrelated money manager.
In conjunction with World Investor Week 2024, the SEC’s Office of Investor Education and Advocacy (OIEA), FINRA and other industry regulators are issuing this Investor Bulletin to provide investors with information about the ways in which emerging technologies like AI and crypto assets, and digital platforms like social media and mobile trading apps, are increasingly influencing how people invest.
FINRA Rule 1210.09 established a waiver program for eligible individuals who left a member firm to work for a foreign or domestic financial services affiliate of a member firm with FINRA. FSAWP participants will be granted a waiver of their requalification requirements, including the Securities Industry Essentials® (SIE®) Exam, upon reapplying with FINRA within a single, fixed seven-year period,
Are you considering exchanging a variable annuity that you currently own with a new one? Replacing one variable annuity with another should involve an analysis and comparison of the complex features of each security. You should exchange your annuity only when it is the smartest move for you.
For Brokers and Advisers Registered with FINRA
Go to your state securities regulator to perform additional research on brokers and advisers.
Check if the SEC has brought formal actions against an individual.
Check if a financial professional has a criminal record.
For Other Financial Professionals
Commodities and Futures Brokers
CFTC Smart Check
National Futures Association BASIC
Thank you, Gerri and Anna, and thanks to everyone for joining us today for the release of the 2015 National Financial Capability Study findings. This study was a tremendous undertaking that could not have happened without the hard work of many people and organizations, including the George Washington University’s Global Financial Literacy Excellence Center. The Center played a large role in this
Mr. Chairman and Members of the Subcommittee: Thank you for inviting us to testify on financial literacy and for allowing us to submit this statement for the record. NASD is committed to expanding the knowledge and confidence of all Americans wishing to build a more secure financial future through saving and investing.
<p>Non-cash compensation sales contest permissible under Conduct Rule 2820(h) where member sells only one variable annuity and one variable life product and appropriate records are maintained.<br/></p>
